Equity Capital Markets Group
The Equity Capital Markets Group offers equity sales & trading, research, and investment banking services focused on the needs of the Lower-Middle Market, Small and Micro-Cap private and public companies. Our Equity Capital Markets Group has decades of experience across a broad range of industries. The group, led by Joe Sullivan, earns clients' trust by understanding their nuances and delivering results.
Tailored Investment Banking Solutions:
- Target Lower and Middle Market Companies
- Identify Unique, undiscovered investment opportunities
- Assist companies facing a broad range of challenges and growth prospects
- Targeted transactions including Public Offerings (IPO, FO or PIPE), Private Placements (Debt & Equity), Mergers & Acquisitions (Advisory & Fairness Opinions)
$2,500,000
VivaQuant, Inc,
December 2024
Loan Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$5,000,000
Fresh Vine Wine
November 2024
Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
Twist-Ease, Inc & American Metal Fabrication
August 2024
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
QualiTru Sampling Systems
July 2024
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
VivaQuant, Inc
March 2024
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$1,000,000
BioLargo, Inc.
January 2024
Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
BioLargo, Inc.
November 2023
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
Sono-Tek Corporation
September 2023
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$3,100,000
Rights Offering
March 2023
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
Graham Corporation
April 2023
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$10,000,000
Private Placement
November 2022
Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
Superior Drilling Products, Inc.
November 2022
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
FLYHT Aerospace Solutions, Ltd.
August 2022
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
Paragon Technologies
June 2022
Exclusive Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
Ocean Bio-Chem
January 2022
Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$22,000,000
Initial Public Offering
December 2021
Co-Manager
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$17,000,000
Secondary Offering
March 2021
Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$7,500,000
Private Placement
October 2020
Exclusive Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$1,500,000
Private Placement
March 2020
Exclusive Financial Advisor
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
$10,500,000
Convertible Preferred Equity
June 2019 Loan
Placement Agent
The Oak Ridge Financial Services Group, Inc. is a member of FINRA and SIPC.
